Wealth Management Compliance Officer



Technical Skills

  • Wealth Management

Job Description

Wealth Management Compliance Officer

Location: Hong Kong

Do you have experience in providing compliance or risk advisory services to a Wealth Management or Private Banking business? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels?

We are looking for a Wealth Management Compliance and Operational Risk Officer to:

• support the business in remaining compliant within the regulatory environment and managing their risk
• provide independent and timely advice to our business and other functions on all issues including investment suitability and products, cross-border, new business initiatives and transactions undertaken by clients
• drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the wealth management business
• assess regulatory developments and requirements (e.g. HKMA) and work with our business to ensure compliance risks are identified, reported and tracked for resolution
• ensure risk frameworks are designed well and operating effectively
• deliver independent risk assessment and reports that shed light on our risk profile
• review business marketing materials
• deliver and facilitate training courses and seminars according to agreed quality standards
• provide business management with controls, tools, training, frameworks , information and insights required for them to manage risk

Employment TypeFull-time
Education LevelNon-specified
UBSInvestment Banking and Brokerage

Two International Finance Centre, 8 Finance St, Central

directions_walk11 mins walk from Central Station